AdvisorCensus / Financial advisors / Pennsylvania / Lancaster / Rodgers & Associates
Rodgers & Associates
Filed as RODGERS & ASSOCIATES · Legal name Rodgers & Associates, LLC
Rodgers & Associates is an SEC-registered investment advisory firm in Lancaster, PA, registered since 2003, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.
Quick answers
From the filingHow is Rodgers & Associates compensated?
On its Form ADV (Item 5.E, October 2026), Rodgers & Associates reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
How much does Rodgers & Associates charge?
Its Form ADV Part 2A brochure dated March 30, 2026 states: Up to $500,000: 1.25% a year; $500,001 to $1,000,000: 1% a year; $1,000,001 to $5,000,000: 0.75% a year; Above $5,000,001: 0.5% a year; Hourly rate: $400 an hour (financial planning and consultation services). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Rodgers & Associates located?
Rodgers & Associates' principal office is in Lancaster, PA, according to its Form ADV.
Is Rodgers & Associates registered with the SEC or a state?
Rodgers & Associates is an SEC-registered investment advisory firm, registered since 2003. Status as filed: Approved. CRD 121700.
How much does Rodgers & Associates manage?
Rodgers & Associates reports $1,630,281,071 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).
How have Rodgers & Associates' assets and staff changed since 2021?
In the Form ADV data for Rodgers & Associates: Regulatory assets under management: $1,172,414,107 in the October 2021 data and $1,630,281,071 in the October 2026 data, up 39%. Total employees: 16 in October 2021 and 21 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Rodgers & Associates serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (549); individuals (other than high net worth individuals) (445); charitable organizations (3).
Which custodians does Rodgers & Associates use?
Rodgers & Associates' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets.
Does Rodgers & Associates report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/121700
Does Rodgers & Associates state an account minimum?
Its Form ADV Part 2A brochure dated March 30, 2026 says: "The minimum assets under management for a Client receiving Rodgers’ investment management services is generally $1,000,000. Accounts below this minimum may be negotiable and accepted on an individual basis at the firm’s discretion."
What changed in Rodgers & Associates' recent Form ADV filings?
In the April 2026 filing data: Employees performing advisory functions went from 11 to 10. Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $500,000 | 1.25% |
| $500,001 to $1,000,000 | 1% |
| $1,000,001 to $5,000,000 | 0.75% |
| Above $5,000,001 | 0.5% |
The brochure's wording
Rodgers’ standard fee schedule is as follows: Market Value of Portfolio Annual Fee From $0 - $500,000 1.25% From $500,001 - $1,000,000 1.00% From $1,000,001 - $5,000,000 .75% The balance over $5,000,001 .50%
Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)
The brochure's wording
The minimum assets under management for a Client receiving Rodgers’ investment management services is generally $1,000,000. Accounts below this minimum may be negotiable and accepted on an individual basis at the firm’s discretion.
Hourly rate: $400 an hour (financial planning and consultation services)
The brochure's wording
In consideration of financial planning and consultation services provided by Rodgers, the Client will pay Rodgers an hourly fee of $400/hour.
As stated in the firm's Form ADV Part 2A brochure dated March 30, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$1,630,281,071 as of October 2026, filing dated March 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Legal name
- Rodgers & Associates, LLC
- Also doing business as
- RA FINANCIAL SERVICES
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2003 (23 years)
- Employees
- Total: 21. Performing investment advisory functions: 10.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
11 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $1,630,281,071 | 21 | March 30, 2026 |
| October 2025 | $1,488,109,570 | 19 | March 5, 2025 |
| October 2024 | $1,341,661,104 | 20 | July 31, 2024 |
| October 2023 | $1,195,569,019 | 18 | August 2, 2023 |
| October 2022 | $1,382,262,598 | 18 | March 25, 2022 |
| October 2021 | $1,172,414,107 | 16 | March 24, 2021 |
Regulatory assets under management: $1,172,414,107 in the October 2021 data and $1,630,281,071 in the October 2026 data, up 39%.
Total employees: 16 in October 2021 and 21 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Employees performing advisory functions went from 11 to 10.
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Rodgers & Associates (CRD 121700): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/rodgers-and-associates-lancaster-pa-121700